Stefan Niculae

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2023-06-29

PA RA
APPROVED

Since 2023-06-29

Branch Locations

12 Cumberland Estates Dr, Mechanicsburg, PA 17050 • United States

5 Kacey Ct Ste 101, Mechanicsburg, PA 17055 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Cetera Wealth Services, Llc	El Segundo	CA	01/2013	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

01/2013 → Present

Cetera Wealth Services, Llc

El Segundo, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

1. FIXED INSURANCE - LIFE, ANNUITIES AND LTC; 2. NAME OF OTHER BUSINESS: STEFAN NICULAE ADVISORS LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL ADDRESS; NATURE OF BUSINESS: TAX PURPOSES - INACTIVE / DORMANT LLC; START DATE: 01/2008; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: NONE, INACTIVE / DORMANT LLC;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-05-07

S66 Uniform Combined State Law Examination

2001-05-07

View on SEC IAPD